Senior Associate Risk Specialist, eComm Surveillance Population Management

Capital One Financial

Confirmed live yesterday High trust

Quick summary

Work type
On-site
Location
Richmond, VANew York, NYMcLean, VA
Salary
$96,500–$110,100 / yr
Employment
Full-time
Posted
2 days ago
Freshness
Confirmed live yesterday

Market check

Salary context

Below market

How this pay compares to similar roles

Similar $175k
This role $103k
$83k most similar roles pay here $218k

This role pays less than 96% of similar roles. Most pay $144,537–$205,000 — the shaded band above. At the midpoint, this role pays about $103k versus about $175k for comparable roles.

Based on 240 similar postings.

Employer

About Capital One Financial

Capital One Financial is a bank holding company specializing in credit cards, auto loans, banking, and savings products, known for its data-driven approach to consumer and commercial finance. Industry: Financial Services & Banking

Capital One Financial currently has 936 open roles on FindRole.

Listed pay typically runs $197,300–$225,100 across 933 roles with salary data.

Most-posted roles

View all roles at Capital One Financial

At a glance

TL;DR · Senior Associate Risk Specialist, eComm Surveillance Population Management

Senior Associate, Risk Specialist – eComm Surveillance Population Management serves as the operational backbone of the Commercial Bank’s Associate Surveillance Program. This role focuses on population management, onboarding and offboarding workflows, and data reconciliation to ensure monitored associates within Broker-Dealer and Swap Dealer business lines are accurately identified and provisioned in surveillance systems. You will maintain a golden-source inventory of employees, manage end-to-end lifecycle tracking for internal transfers, and perform rigorous daily, weekly, and monthly reconciliations between internal feeds and system rosters. The role requires proficiency in G-Suite and Microsoft Excel, including VLOOKUPs, XLOOKUPs, and pivot tables. You will collaborate with technical teams to automate manual processes and resolve data discrepancies. This position addresses the critical challenge of maintaining regulatory compliance coverage and ensuring accurate surveillance tracking within a complex financial services environment.

What you'll do

  • Maintain a golden-source inventory of the monitored employee population to ensure regulatory compliance.
  • Manage the end-to-end onboarding and offboarding lifecycle for all monitored associates.
  • Verify that new hires are correctly configured across all compliance surveillance tools and communication channels.
  • Execute daily, weekly, and monthly data reconciliations between internal feeds and surveillance system rosters.
  • Serve as the primary point of contact for business partners regarding population scoping and access issues.
  • Identify and remediate gaps or anomalies in roster data to ensure continuous monitoring coverage.
  • Collaborate with technical teams to automate manual reconciliation tasks and streamline workflow pipelines.
  • Escalate operational gaps, technical failures, or potential compliance risks to leadership for immediate review.

What we're looking for

  • Bachelor's degree or military experience.
  • At least 2 years of experience in operations, process management, data reconciliation, or compliance onboarding workflows.
  • At least 2 years of experience utilizing G-Suite or Microsoft Office for data tracking, reporting, or analysis.
  • Proven ability to analyze large employee datasets and resolve complex roster anomalies.
  • Advanced proficiency in Microsoft Excel including VLOOKUPs, XLOOKUPs, pivot tables, and data cleaning formulas.
  • Experience with 3+ years of compliance operations, data integrity, or HR operations within a financial services institution (preferred).
  • Familiarity with tracking requirements under FINRA, SEC, or CFTC guidelines (preferred).
  • Experience using data management systems or specialized compliance surveillance tools to manage user permissions (preferred).

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